Regulatory Incubation & Collaboration Platform

Besides witnessing many start-up situations from the outside, our principals have been through the start-up process themselves, particularly in financial services, and, more specifically, in the asset management and corporate finance advisory segments.

For dealmakers in today’s rapidly evolving financial world the advantages of being part of a big institution are ever more diluted, more and more it pays to be a part of a smaller, nimbler entity. For teams or individuals engaged in capital raising who have established business relationships and deal-flow, perhaps developed during employment within a bank or other large institution, and who are now seeking a new path of direct self determination, we can construct an EU wide regulatory and deal support solution for you until you are truly on your own feet. Our framework is simple and transparent, a flat monthly fee is charged for such infrastructure and FCA authorisation, enabling you to budget effectively in those tentative early days and get started immediately. We will also consider co-operating on deals where this is mutually agreeable and can bring a diverse investor network to bear on shared transactions as well as access to our own international digital placement platform for efficient process management.

Thus far we have engaged with a variety of financial services entrepreneurs on this basis including fund placement agents, corporate finance advisors and M&A advisors. In addition we have designed and administered compliance ready digital placement platforms for a number of start-ups in the impact and emerging market segments, and so are able to arrange a turnkey, compliant digital SaaS solution, complete with FCA regulatory cover in order to digitise and systematise the placement process in private/alternative markets. These can be tailored to meet individual requirements. We are proud to have provided such solutions to a growing cluster of high profile impact investment firms, and keen to foster the growth of this subset as well as to support constructive collaboration in this field.

In addition we offer a complete AIFMD compliant hosted fund solution in partnership with our international ManCo affiliates. In certain circumstances, and primarily for alternative investment strategies, we are able to introduce capital and assist you in building AUM.

Finally, for advisers or intermediaries based outside of the US seeking to source capital in the US we are able to arrange full SEC/FINRA cover via a "chaperone" solution which is designed to work seamlessly with our European hosting solutions, all of which sit on comprehensive user friendly, digital compliance monitoring platforms in the UK and US.

Do contact us immediately for a detailed discussion.